NAO 216-8

.02 Clearance. A determination by NOAA, the Department of Commerce (DOC), and OMB that an information collection or requirement is needed by the requesting office and that the burden upon the public is kept to a minimum. Clearances are only effective for a maximum of three years. Continuing collections must obtain clearance extensions on a regular basis.

.03 Federal Employees. In addition to regular Federal employees, this term can sometimes apply to persons acting as agents for the Federal Government. Case-by-case determinations as to the applicability of the term will be made by the NOAA Clearance Officer.

.04 Information. Facts or opinions obtained or requested.
(See Appendix 2, Item 3 of this Order for exclusions to this definition.)

.05 Information Collection. Any application, questionnaire, form, letter, telephonic request, interview format, or similar device for collecting identical items of information from ten or more persons within a twelve month period. Any requirement for information contained in a regulation of general applicability is regarded as an information collection needing clearance even if less than ten respondents are expected. Collections conducted via contract or agreement are still agency information collections. Collections conducted by grantees are often considered agency collections (See Appendix 2, Item 4 of this Order for exceptions).

.06 Information Collection Budget (ICB). Submitted to DOC and OMB before each fiscal year, the ICB is an estimate of the total number of hours that it will take the public to comply with NOAA's requests for information or recordkeeping requirements. OMB issues a ceiling for the burden hours that can be imposed. An information collection or requirement must have hours allocated to it in the ICB before it can obtain clearance.

.07 Information Requirement. A requirement in a regulation that specified members of the public either disclose information to the public or maintain records.

.08 Person. An individual, partnership, association, society, corporation, university, or unit of state or local government. Foreign individuals are usually considered persons under the Act, but foreign governments are not if they are acting in their capacity as a government. Current Federal employees are excluded from this definition if the information they supply falls within the scope of their employment.

09. Recordkeeping Requirement. A requirement that specified members of the public maintain certain records for possible inspection. The records may not have to be submitted to the agency, but the requirement is still regarded as a burden.

10. Respondent. Any person from whom information is obtained or who is affected by an information requirement.

11. Sponsor. The office or person who will use the information being gathered. An office may be the sponsor of a collection even though the information is gathered by someone else as the result of a contract, cooperative agreement, or similar action.

SECTION 5. RESPONSIBILITIES.

.01 Sponsors of an Information Collection or Requirement. Any NOAA employee sponsoring an information collection or requirement shall initiate the clearance procedures detailed in Section 6 of this Order. Sponsors may not conduct a collection or impose a requirement until they have received clearance approval.

.02 Line Office Information Clearance Officers. Appointed by the Line Office's Assistant Administrator, the clearance officer shall formulate the Line Office's input to the Information Collection Budget in accordance with instructions given by the NOAA Clearance Officer. Line Offices with more than three or four collections should consider having their clearance officer review and track clearance requests and track the Office's ICB status.

.03 Assistant Administrators. In addition to being responsible for the general compliance of their organization with the Paperwork Reduction Act and this order, Assistant Administrators shall designate a clearance officer to perform the duties described in Section 5.02 of this Order.

.04 NOAA Clearance Officer. Located in the Information Resources Management Staff, Information Systems and Finance Office, Office of Administration, the Clearance Officer is responsible for reviewing all requests for clearance and coordinating with DOC and OMB personnel in their reviews. Specifically, the NOAA Clearance Officer shall:

a. formulate the annual ICB from input from the Line and Staff Offices and take any action necessary to ensure that the budget is within the limits set by DOC;

b. maintain and track the use of ICB allocations during the year;

c. review all requests for clearance of NOAA's information collections or requirements to ensure that they are necessary and conducted in a manner that minimizes the public burden;

d. maintain the official documentation of requests and approvals/disapprovals;

e. coordinate with DOC and OMB on their reviews of clearance requests; and

f. prepare any NOAA reports required for this program.

.05 Director, Information Systems and Finance Office, Office of Administration. The Director is responsible for ensuring overall NOAA compliance with the laws and regulations concerning information collections or requirements affecting the public. The Director shall also designate the NOAA Clearance Officer.

SECTION 6. PROCEDURES.

.01 Planning. When a collection or requirement is being planned, the sponsor should follow the guidelines issued by OMB (See Appendix 1 of this Order). Variations from the guidelines will need strong justifications. Sponsors must be sure that they understand the objectives of the collection; that they need all of the information being requested, and that the collection instrument is well designed, is clear, and minimizes the burden on the public. The sponsor is also expected to know who the potential respondents are, to have estimates of how many may respond, and how long it will take a respondent to gather and report the information.

.02 Determine if Clearance is Needed. Not all collections need clearance. (See Appendix 2 of this Order for a description of the exceptions to the requirements and consult with the NOAA Clearance Officer if the situation is unclear.) If the collection is exempt, but public response to it is required by law or needed to obtain a benefit, sponsors must inform potential respondents that the collection is not subject to OMB review under the Paperwork Reduction Act of 1980.

.03 Collections Affecting Educational Institutions. If the primary respondents to a collection or requirement are educational institutions, additional clearance from the Department of Education will be needed. Sponsors planning such a collection should contact the NOAA Clearance Officer as early as possible for specific guidance.

.04 ICB Allocation. The first step in the clearance process is to obtain an ICB allocation. In May or June of each year, the Line and Staff Offices are asked to submit a list of the collections and requirements they plan for the next fiscal year. Sponsors must have their collection or requirement included on this submission. Sponsors of collections without ICB allocations should contact the NOAA Clearance Officer.

.05 Request for Clearance. If ICB hours have been allocated, the sponsor may request OMB approval for the collection or requirement. The request must be sent to the NOAA Clearance Officer, and must include:

a. a Standard Form 83, "Request for OMB Review";

b. a Supporting Statement written exactly as described in the SF-83 instructions;

c. a copy of the collection instrument (the form, regulations, interview format, etc., which must show the clearance information shown in the instructions); and

d. a copy of the law authorizing the activity that the collection or requirement supports.

If the collection or requirement is contained in a regulation, the additional requirements in Appendix 3 must be followed. Copies of the SF-83 and its instructions should be obtained from the NOAA Clearance Officer. Line Offices may require that clearance requests pass through their own clearance officer before being sent to the NOAA Clearance Officer. Sponsors are responsible for knowing the procedures within their offices.

.06 Lead Time. A clearance request must be submitted to the NOAA Clearance Officer 150 days before the planned start of the collection. Submissions related to the contents of a Notice of Proposed rulemaking have special requirements (See Appendix 3 of this Order).

.07 OMB Approval. If OMB approves the collection or requirement, it will assign a control number and an expiration date for its approval. This date cannot be more than three years from the date of approval. Sponsors will receive a notice showing OMB's approval/disapproval of their collection.

.08 Conducting the Collection. Upon notification of OMB approval, sponsors may conduct their collections in the manner described in their clearance request. However, if the methods or questions of the collection are altered, the NOAA Clearance Officer must be contacted for a decision on the substantiveness of the alterations. If they are substantive, a new clearance request may be needed.

.09 Collection Forms. OMB clearance of a form is only valid if it displays the following:

a. the OMB control number given with the clearance;

b. the expiration date of the OMB approval;

c. a statement informing the potential respondents whether their response to the collection is mandatory, voluntary, or required for them to obtain a benefit; and

d. a statement informing the respondents of the average response time estimated in the clearance request and inviting them to contact OMB and NOAA if the estimate appears inaccurate. (The NOAA Clearance Officer provides standard formats to be used for this statement.)

.10 Rulemaking. If the collection or requirement will be part of a rulemaking action, the preamble to the rulemaking must display the OMB control number and the response time estimate. Standard formats are issued by the NOAA Clearance Officer. The OMB control number must also be codified in the Code of Federal Regulations, either in a table of OMB approvals or with the final regulatory text.

.11 Renewing Clearances. Any collection extending beyond a single fiscal year must be included in the ICB submission for the next fiscal year. Collections that will continue past the OMB approval expiration date must submit a new clearance request 150 days before the expiration date.

.12 Assistance. Offices needing assistance should contact the NOAA Clearance Officer located in the Information Resources Management Staff, Information Systems and Finance Office, Office of Administration.

SECTION 7. EFFECT ON OTHER ISSUANCES.

This Order supersedes NOAA Directive 59-11.

__________________________________
Director, Office of Administration

Attachments

Office of Primary Interest
Office of Administration
Information Systems and Finance Office
Information Resources Management Staff (OA1x1)
APPENDIX 1
OMB GUIDELINES FOR INFORMATION COLLECTIONS

OMB has issued the following guidelines for proposed information collections or requirements. If the proposed collection or requirement does not comply with the guidelines, the clearance request must contain an explanation of why the deviation is necessary. An information collection or requirement should:

1. not require respondents to report information more often than quarterly;

2. not require respondents to prepare a written response in fewer than thirty days after they receive the request;

3. not require respondents to submit more than an original and two copies;

4. not require grantees to submit or maintain information other than that required under OMB Circulars;

5. not provide for remuneration of respondents (other than contractors or grantees);

6. not require respondents to retain records for more than three years unless those records are health, medical, or tax records;

7. not be a statistical study which is not designed to produce results than can be generalized to the universe of study; (In other words, if you collect information from part of a group for statistical reasons, the results must be applicable to all of the group.)

8. take every practicable step to develop separate and simplified requirements for small businesses and other small entities;

9. not require respondents to submit proprietary, trade secret, or other confidential information unless the agency can demonstrate that it has instituted (and not just planned) procedures to protect its confidentiality to the extent permitted by law;

10. not require respondents to maintain or provide information in a format other than that which the information is normally maintained; and

11. consider the use of automated collection techniques or other forms of Information Technology to reduce the burden on the respondents.

APPENDIX 2
EXCEPTIONS TO INFORMATION COLLECTION CLEARANCE REQUIREMENTS

OMB's regulations at 5 CFR 1320 exclude certain types of information activities from the clearance process. The reasons for exclusion are:

1. The collection is part of a legal action. Section 1320.3(c) contains exceptions for collections conducted: during a Federal investigation or prosecution; during the disposition of a particular criminal matter; during a civil action to which the United States or any official or agency thereof is a party; or during an administrative action or investigation involving an agency against specific individuals or entities. These exceptions begin after a case file or its equivalent is opened with respect to a particular party. They do not apply to collections about categories of individuals or entities.

2. The collection involves less than ten persons and is not part of a regulation. If identical questions are directed to less than ten persons and do not appear in a regulation, the collection does not need clearance (Section 1320.7(c)). Any collection or requirement in a rule of general applicability is deemed to involve ten or more persons. Any collection or requirement addressed to all or a substantial majority of an industry is presumed to involve ten or more persons (Section 1320.7(u)(1)). The latter presumption may be rebutted.

3. The collection does not involve information as defined by OMB. In Section 1320.7(k) OMB defines the term "information" to mean "any statement of fact or opinion, whether in numerical, graphic, or narrative form, and whether oral or maintained on paper, magnetic tapes, or other media". The following are not generally considered "information", and do not need clearance:

a. Affidavits, oaths, affirmations, certifications, receipts, changes of address, consents, or acknowledgments provided that they entail no burden other than that necessary to identify the respondent, the date, the respondent's address, and "the nature of the instrument".

b. Samples of products or any physical objects.

c. Facts or opinions submitted in response to general solicitations of comments from the public, published in the Federal Register or other publications, provided that no person commenting is required to supply any specific information, other than that for self-identification, as a condition for the agency's full consideration of the comment.

d. Facts or opinions obtained through direct observation by an employee or agent of the sponsoring agency, or through nonstandardized oral communication in connection with such direct observation.

e. Facts or opinions obtained in connection with certain medical activities.

f. A request for facts or opinions addressed to a single person.

g. Examinations designed to test the aptitude, abilities, or knowledge of the persons tested, and the collection of information for identification or classification in connection with such examinations.

h. Facts or opinions obtained or solicited at or in connection with public hearings or meetings.

i. Facts or opinions obtained or solicited through nonstandardized follow-up questions designed to clarify responses to an approved information collection.

4. The collection is conducted by a grantee without agency control. An agency is the sponsor of a collection undertaken by a grant recipient if:

a. the recipient of the grant is collecting information at the specific request of the agency; or

b. the terms and conditions of the grant require specific approval by the agency of the information collection or its procedures; or

c. an information collection is an inherent part of the objectives of the grant or clearly the means by which the objectives will be attained even if the collection is not specifically mentioned in the grant itself.

5. The collection is sponsored by another agency. If NOAA collects information that is primarily gathered for another agency's use or if another agency requires that NOAA gather information, the using or prescribing agency would be responsible for obtaining OMB clearance.

APPENDIX 3
PROCEDURES FOR CLEARANCE OF INFORMATION REQUIREMENTS
IN PROPOSED OR FINAL RULES

The clearance process for information collections or requirements contained in Notices of Proposed Rulemaking or Final Rules is separate from the regulatory clearance process. Failure to submit clearance requests as required can lead to extensive delays in issuing a final rule.

1. The clearance request described in Section 6 of this Order must reach OMB on or before the day that the Notice of Proposed Rulemaking is published in the Federal Register. Submission to the NOAA Clearance Officer should be made two weeks or more before the planned publication date to allow for NOAA and DOC review. Earlier submission is advised whenever possible. The clearance request must include a copy of the proposed rule.

2. The preamble of any Notice of Proposed Rulemaking that contains an information collection or requirement must contain:

a. a statement that the collection of information requirements contained in the rule have been submitted to OMB for review under Section 3504(h) of the Paperwork Reduction Act of 1980;

b. a statement informing potential respondents of the average response time estimated in the clearance request and inviting them to contact OMB and NOAA if the estimate appears inaccurate or if they have recommendations for reducing the burden; (The NOAA Clearance Officer provides standard formats to be used for the statement.) and

c. a statement directing comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, Attn: Desk Officer for NOAA, Washington, D.C., 20503.

3. OMB has sixty days from the date of publication to file public comments on the information provisions described in the clearance request and to approve or disapprove the request. If a Notice of Proposed Rulemaking was published without the submission of a clearance request, OMB has sixty days from the filing of such a request to make comments and give its approval or disapproval. Any comments which shall be made on the OMB Notice of Action shall then be made part of NOAA's rulemaking record. If OMB fails to act in sixty days it must approve the requirement.

4. When the final rule is published in the Federal Register, NOAA must describe how it responded to comments received from OMB and the public. OMB may require that its comments be included in the preamble.

5. If a NOAA office seeks to publish a final rule before the expiration of the sixty day period for OMB review and OMB has not acted by the publication date, the rule must reserve the effective date for those portions of the rule containing information requirements. If and when OMB approval is received, a notice must be placed in the Federal Register to inform the public of the effective date and OMB's approval.

6. If OMB has approved the information requirements prior to publication of the final rule, the preamble must state that the rule contains a collection of information requirements subject to the Paperwork Reduction Act and that OMB has approved it. The OMB approval number and the average response time estimate must be included in the preamble.

7. If the final rule has substantially modified the information requirements in the proposed rulemaking, those requirements cannot become effective until a new clearance request has been submitted to OMB and approval obtained.